Leadership predictors of proactive organizational behavior: Facilitating personal initiative, voice behavior, and exceptional service performance

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1 University of South Florida Scholar Commons Graduate Theses and Dissertations Graduate School 2006 Leadership predictors of proactive organizational behavior: Facilitating personal initiative, voice behavior, and exceptional service performance Johannes Rank University of South Florida Follow this and additional works at: Part of the American Studies Commons Scholar Commons Citation Rank, Johannes, "Leadership predictors of proactive organizational behavior: Facilitating personal initiative, voice behavior, and exceptional service performance" (2006). Graduate Theses and Dissertations. This Dissertation is brought to you for free and open access by the Graduate School at Scholar Commons. It has been accepted for inclusion in Graduate Theses and Dissertations by an authorized administrator of Scholar Commons. For more information, please contact

2 Leadership Predictors of Proactive Organizational Behavior: Facilitating Personal Initiative, Voice Behavior, and Exceptional Service Performance by Johannes Rank A dissertation submitted in partial fulfilment of the requirements for the degree of Doctor of Philosophy Department of Psychology College of Arts and Sciences University of South Florida Major Professor: Paul E. Spector, Ph.D. Tammy D. Allen, Ph.D. Walter C. Borman, Ph.D. Walter R. Nord, Ph.D. Jonathan Rottenberg, Ph.D. Date of Approval: March 8, 2006 Keywords: Participation, transformational leadership, task performance, contextual performance, action orientation, organizational commitment, trust, autonomy Copyright 2006, Johannes Rank

3 Dedication To my parents who taught me the importance of pursuing an exciting career that truly reflects my interests, the value of questioning the mainstream and thinking out of the box, and the pleasure of taking many breaks, helping others, and enjoying life as much as possible.

4 Acknowledgements First of all, I would like to thank my adviser Paul Spector for his continuous support since I first came to the United States in He has always responded to my questions and concerns with incredible competence, promptness, and politeness and convinced me that an academic career is a feasible goal. The rare combination of achievement and modesty that he impersonates has been a true source of inspiration. I am also indebted to Tammy Allen for her invaluable substantive recommendations as well as priceless career advice. Her challenging leadership and motivation courses sparked my interest in the type of research presented here. I am grateful to Walter Borman and Walter Nord for all the insights they allowed me to gain about performance and management research. I would also like to acknowledge committee member Jonathan Rottenberg and Jane Jorgenson, the chair of my dissertation defense, for their availability, interest, and support, Jeanne Carsten for encouraging me to conduct this research and for being the best internship supervisor one can imagine, and Laura Fowler Pierce as well as the other wonderful staff members at USF who helped me navigate the administrative process. My thanks also go to numerous colleagues, fellow students, and long-time friends as well as my relatives, particularly my mother Margarete, my aunt Anita, and my grandparents Anna and Karl. Finally, I acknowledge the great support that I received from the Fulbright Commission and the German Academic Exchange Service.

5 Table of Contents List of Tables...v List of Figures...viii Abstract...x Chapter One Introduction...1 Proactive behavior in organizations...2 Five gaps in proactivity research...3 Leadership in relation to proactivity...3 Moderators and mediators...4 Comparison of constructs...5 Proactive behavior relevant to innovation...6 Proactive behavior in the domain of customer service...7 Purpose of this dissertation...8 Chapter Two The Criterion Variables...10 Voice behavior...11 Voice behavior and citizenship performance...12 Empirical findings on voice behavior...14 Voice behavior and task performance...16 Personal initiative...17 Facets and correlates of personal initiative...18 Personal initiative and citizenship performance...20 Proactive service performance...21 Implications of the proactivity literature...23 Implications of the customer service literature...25 Implications of the performance literature...27 Chapter Three Leadership Predictors of Proactive Behavior...29 Participative leadership and proactive behavior...31 Active-corrective transactional leadership and proactive behavior...33 Transformational leadership and proactive behavior...35 Chapter Four Leadership Variables as Moderators...39 Participative leadership as a moderator...40 Active-corrective transactional leadership as a moderator...43 i

6 Chapter Five Subordinate Variables as Moderators...46 Action-state orientation (hesitation dimension) as a moderator...48 Affective organizational commitment as a moderator...52 Chapter Six Perceptual Variables as Mediators...56 Perceived trust in leadership as a mediator...58 Perceived autonomy as a mediator...62 Chapter Seven Additional Predictors of Proactive Behavior...68 Trait personal initiative...69 Work-related self-efficacy...70 Task complexity...71 Incremental validity of the leadership predictors...72 Chapter Eight Sample, Procedure, and Organizational Context...75 Sample and procedure...75 The organizational context...78 Chapter Nine Measures...80 Proactive service performance...80 Scale development...82 Scale properties...83 Other criterion measures...84 Voice behavior...86 Personal initiative...86 Task performance...86 Predictor measures...87 Participative leadership...87 Active-corrective transactional leadership...87 Transformational leadership...88 Action-state orientation (hesitation dimension)...88 Affective organizational commitment...89 Trait personal initiative...89 Work-related self-efficacy...89 Trust in leadership...89 Task autonomy...90 Task complexity...90 Chapter Ten Data Analytic Strategies...92 Confirmatory factor analyses...92 Correlations and multiple hierarchical regression analyses...94 Moderated regression analyses...95 Mediated regression analyses...96 Structural equation modelling...97 ii

7 Chapter Eleven Results of the Confirmatory Factor Analyses Performance scales Leadership scales Chapter Twelve Results of the Correlational and Multiple Regression Analyses Participative leadership as a predictor Active-corrective transactional leadership as a predictor Transformational leadership as a predictor Incremental validity analysis Predictors of voice behavior Predictors of personal initiative Predictors of proactive service performance Predictors of task performance Differential relationships Chapter Thirteen Results of the Moderated Hierarchical Regression Analyses Participative leadership as a moderator Active-corrective transactional leadership as a moderator Action-state orientation (hesitation dimension) as a moderator Affective organizational commitment as a moderator Chapter Fourteen Results of the Mediated Regression Analyses Trust in leadership as a mediator Perceived autonomy as a mediator Chapter Fifteen Results of the Structural Equation Analyses Structural equation model for personal initiative Structural equation model for proactive service performance Chapter Sixteen Discussion of the Findings Findings on the distinguishability of the criteria Findings on direct relationships Findings on interaction effects Findings on mediation effects Findings on strengths and limitations Chapter Seventeen Implications and Future Research Directions Implications for practice Conceptual implications Future research directions Conclusion References iii

8 Appendices Appendix A: Subordinate questionnaire Appendix B: Supervisor questionnaire About the Author... End page iv

9 List of Tables Table 1. Table 2. Table 3. Table 4. Table 5. Table 6. Items included in the Proactive Service Performance (PROSPER) scale and their means, standard deviations, and item-total correlations...81 Overview of all measures included in this study, including source of each measure, the number of items, and the internal consistencies in the present study...85 Standardized factor loadings of the performance items resulting from confirmatory factor analysis of the hypothesized differentiated three-factor measurement model Results of confirmatory factor analysis comparing the hypothesized differentiated three-factor performance model to a one-factor and a two-factor model Standardized factor loadings of the leadership items resulting from confirmatory factor analysis of the hypothesized differentiated three-factor measurement model Results of confirmatory factor analysis comparing the hypothesized differentiated three-factor leadership model to a one-factor and two two-factor models Table 7. Means, standard deviations, intercorrelations, and alphas Table 8. Table 9. Multiple hierarchical regression analyses of voice behavior and personal initiative on the control, subordinate, task, and leadership variables Multiple hierarchical regression analyses of proactive service performance and task performance on the control, subordinate, task, and leadership variables Table 10. Moderated hierarchical regression analyses of voice behavior on transformational leadership and participative leadership v

10 Table 11. Moderated hierarchical regression analyses of personal initiative and proactive service performance on transformational and active-corrective transactional leadership Table 12. Moderated hierarchical regression analysis of proactive service performance on transformational and active-corrective transactional leadership Table 13. Moderated hierarchical regression analyses of voice behavior and personal initiative on participative leadership and subordinates action orientation (hesitation dimension) Table 14. Moderated hierarchical regression analysis of proactive service performance on participative leadership and subordinates action orientation (hesistation dimension) Table 15. Moderated hierarchical regression analyses of voice behavior and personal initiative on active-corrective transactional leadership and subordinates action-state orientation (hesitation dimension) Table 16. Moderated hierarchical regression analysis of proactive service performance on active-corrective transactional leadership and subordinates action-state orientation (hesitation dimension) Table 17. Moderated hierarchical regression analyses of voice behavior and personal initiative on participative leadership and affective organizational commitment Table 18. Moderated hierarchical regression analysis of proactive service performance on participative leadership and affective organizational commitment Table 19. Moderated hierarchical regression analyses of voice behavior and personal initiative on transformational leadership and subordinates affective organizational commitment Table 20. Moderated hierarchical regression analysis of proactive service performance on transformational leadership and subordinates affective organizational commitment Table 21. Results of mediated regression analyses involving trust in leadership as a mediator vi

11 Table 22. Results of mediated regression analyses involving perceived autonomy as a mediator Table 23. Results of structural equation modeling involving personal initiative as the criterion Table 24. Overview of findings regarding the distinguishability and direct relationship hypotheses Table 25. Overview of findings regarding the interaction hypotheses Table 26. Overview of findings regarding the interaction hypotheses vii

12 List of Figures Figure 1. Conceptual derivation of the proactive service performance construct on the basis of selected implications of the proactivity, service, and performance literatures...22 Figure 2. Overview of hypotheses 4-6 relating the leadership variables to proactive behavior and task performance...30 Figure 3. Overview of hypotheses 7 and 8 specifying interactions between the leadership variables...40 Figure 4. Overview of hypotheses 9-10 involving individual moderators of the relationships between the leadership and task predictors and the proactivity criteria...47 Figure 5. Overview of hypotheses involving perceptual mediators of the relationships between the leadership predictors and the proactivity criteria...57 Figure 6. Overview of the twelve hypotheses (numbers indicate the hypotheses)...74 Figure 7. Interaction effect of supervisors transformational and participative leadership on subordinates voice behavior Figure 8. Interaction effect of supervisors transformational and active-corrective transactional leadership on subordinates voice behavior Figure 9. Interaction effect of supervisors transformational and active-corrective transactional leadership on subordinates personal initiative Figure 10. Interaction effect of supervisors participative leadership and subordinates action-state orientation (hesitation dimension) on subordinates voice behavior Figure 11. Interaction effect of supervisors participative leadership and subordinates affective organizational commitment on subordinates voice behavior viii

13 Figure 12. Interaction effect of supervisors participative leadership and subordinates affective organizational commitment on subordinates personal initiative Figure 13. Interaction effect of supervisors participative leadership and subordinates affective organizational commitment on subordinates proactive service performance Figure 14. Measurement model and fully mediated structural model involving trust in leadership as a mediator between the leadership variables and personal initiative Figure 15. Measurement model and fully mediated structural model involving trust in leadership as a mediator between the leadership variables and proactive service performance ix

14 Leadership Predictors of Proactive Organizational Behavior: Facilitating Personal Initiative, Voice Behavior, and Exceptional Service Performance Johannes Rank ABSTRACT Proactive organizational behavior is characterized by self-started and long-term oriented activities involving forward thinking and the intention to effect change in one s work environment. The primary objective of this research was to investigate relationships of supervisory behaviors with subordinates personal initiative, voice behavior, and proactive service performance and to reveal moderators and mediators of these associations. Whereas personal initiative represents a wide range of proactive behaviors, voice behavior specifically reflects challenging and constructive forms of change-oriented communication. Drawing on the proactivity, service, and performance literatures, the proactive service performance construct was newly conceptualized as selfstarted and long-term oriented service behavior exceeding prescribed requirements. Twelve hypotheses were developed based on the implications of several leadership, performance, and motivation theories as well as previous empirical studies. Data from 229 supervisor-subordinate dyads were collected in a large financial services organization across three lines of business and ten U.S. states. Confirmatory factor x

15 analyses demonstrated that proactive service performance, voice behavior, and task performance were distinguishable performance dimensions. Participative leadership related positively and active-corrective transactional leadership negatively to supervisor ratings of subordinate proactivity. Transformational leadership was positively associated with personal initiative, proactive service performance, and task performance. In hierarchical regression analyses, the block of leadership variables explained significant increments in the variance of all criteria, after several control, subordinate, and task variables were accounted for. Moderated hierarchical regressions revealed that transformational leadership positively predicted voice only when combined with high participation or low levels of corrective leadership. Similarly, transformational leadership was more strongly and positively associated with initiative when corrective leadership was low. Participative leadership more strongly and positively related to voice for action-oriented subordinates low in hesitation and to all proactivity criteria for subordinates low in affective organizational commitment. Mediated regression analyses as well as structural equation modelling identified trust in leadership as a mediator of most of the relationships between the leadership predictors and the proactivity criteria. The discussion focuses on practical implications for leadership development, conceptual implications for the distinction between task performance and proactivity, and directions for future research on the antecedents and consequences of proactive behavior. xi

16 Chapter One Introduction Formal organizations of the twenty-first century will need members who exercise independent initiative, autonomous judgment and decision making, analytical thinking, and innovative approaches to tasks and problems. Consequently, leaders will need to stimulate followers intellectually and develop their competence and independence. (House, 1995, p. 425) It is the confluence of individual differences, contextual factors, and perceptual sense-making through mediating and moderating processes that ultimately determines one s propensity to engage in proactive behavior. More complex designs that allow researchers to capture this complexity would be a useful step in furthering our understanding of proactive behavior. (Crant, 2000, p. 458) Since the early 1990s, organization scientists have devoted increasing attention to various forms of proactive behavior in organizations (Bateman & Crant, 1993; Frese, Kring, Soose, & Zempel, 1996; LePine & Van Dyne, 1998; Morrison & Phelps, 1999; Van Dyne, Cummings, & McLean Parks, 1995). Individuals exhibiting proactive organizational behavior engage in self-started and long-term oriented activities and effect change in their work environments (Frese & Fay, 2001; Parker & Collins, 2004; Seibert, Kramer, & Crant, 2001). In his review of proactivity research, Crant (2000) emphasized the power of different proactivity concepts in predicting numerous desirable outcomes, including individual and team performance, career advancement, stress management, idea championing, organizational change, leadership effectiveness, and entrepreneurial 1

17 success. However, relatively little research has explored antecedents of proactive organizational behavior, particularly situational precursors such as supervisory behaviors (Parker & Collins, 2004). Therefore, the major objective of this dissertation is to investigate leadership predictors of proactivity and to reveal moderators and mediators illuminating when and why these predictors are associated with proactive behavior. Proactive behavior in organizations Among the various proactivity constructs developed in recent years are broad concepts such as personal initiative (Frese & Fay, 2001) and proactive personality (Bateman & Crant, 1993) as well as relatively narrow concepts, including voice behavior (LePine & Van Dyne, 2001), taking charge (Morrison & Phelps, 1999), issue selling (Dutton & Ashford, 1993), proactive coping (Aspinwall & Taylor, 1993), proactive feedback seeking (Ashford, 1986), and proactive career management behaviors such as networking and consulting behavior (Claes & Ruiz-Quintanilla, 1998). Whereas the first group of broad variables represents domain-nonspecific proactivity, the second group encompasses domain-specific forms aiming at distinct outcomes (i.e., initiating innovation in one s work group, facilitating organizational change, influencing strategy, managing stress, improving one s performance, or advancing one s career, respectively). Although the various lines of proactivity research are not fully integrated (Parker & Collins, 2004), several scholars have argued that individuals demonstrating proactive organizational behavior engage in self-started activities and interact dynamically with their environments, whereas nonproactive individuals tend to engage only in prescribed activities and to respond passively to situational demands (Crant, 2000; Morrison & Phelps, 1999; Parker & Collins, 2004). In particular, both American (e.g., Bateman & 2

18 Crant, 1993) and European (e.g., Frese & Fay, 2001) researchers have emphasized that individuals exhibiting proactivity distinguish themselves from passive individuals by adopting a long-term orientation involving forward thinking, by showing persistence in overcoming barriers, and by changing the conditions under which they work. Five gaps in proactivity research Despite the impressive set of studies demonstrating positive consequences of proactive organizational behavior (e.g. Becherer & Maurer, 1999; Crant & Bateman, 2000; Crant, 2004; Fay & Frese, 2001; Kirkman & Rosen, 1999; Parker, 1998; Seibert et al., 2001), several specific gaps still need to be filled. Five of the major current needs in the proactivity domain are (1) to analyze associations of leadership variables with proactive organizational behavior, (2) to identify potential moderators and mediators of such relationships, (3) to compare different proactivity criteria with each other and with prescribed task performance, (4) to investigate proactive behavior relevant to work group innovation, and (5) to examine proactive behavior in the domain of customer service performance. In the following paragraphs, I will describe these five challenges and briefly discuss how this dissertation will address each of them. Leadership predictors of proactive behavior. First, one of the major gaps in current proactivity research is the lack of research on leadership predictors of proactive organizational behavior. Recently, Parker and Collins (2004) noted that we generally have insufficient knowledge of the facilitators of proactive behavior. Although several studies have examined personality and motivational predictors of proactivity (e.g., Frese et al., 1997; LePine & Van Dyne, 2001; Morrison & Phelps, 1999), less research has examined contextual predictors. As is evident in the first quote preceding this 3

19 dissertation, House (1995) suggested that managers in twenty-first century organizations would be particularly successful if they demonstrated leadership behaviors conducive to subordinates initiative. As House further concluded, the role of leaders in introducing and implementing change remains an important topic for future research (p. 441). The present research investigates how leadership relates to individual-level proactive behaviors that contribute to change. Despite the proposition that certain supervisory behaviors such as transformational leadership may support subordinates change-oriented proactivity (Frese & Fay, 2001), little research has empirically tested such propositions. Moderators and mediators. Second, organization scientists have expended insufficient efforts to uncover moderation and mediation phenomena illuminating when and why certain situational predictor variables are associated with proactive organizational behavior. The second introductory quote, one of the major conclusions in Crant s (2000) proactivity review, implies that proactive behavior is determined by an interplay of contextual, individual, and perceptual factors. As Crant further concluded, very few studies have examined moderators of the relationship between proactive behavior and its antecedents (p. 458). Notable exceptions are studies showing that employees self-esteem and self-efficacy determine the degree to which managerial factors and task characteristics influence employees proactive behavior (LePine & Van Dyne, 1998; Speier & Frese, 1997). However, almost no research has examined other trait or attitudinal moderators, including action-state orientation and affective organizational commitment, the two individual moderators considered in the present research. Because even fewer studies have addressed Crant s (2000) suggestion to examine perceptual factors as mediators, this study also incorporates perceived trust and 4

20 perceived autonomy as two of the potential intermediate variables linking the leadership predictors to the proactivity criteria. Comparison of constructs. Third, another challenge is to compare different proactivity criteria with each other and with prescribed task performance. Although a few conceptual contributions have stressed differences between various proactivity variables and emphasized that proactive behavior is distinct from task performance or in-role behavior (Crant, 2000; Frese & Fay, 2001), there is a lack of empirical evidence demonstrating these differences. Conceptually, proactive behavior is self-started and change-oriented, whereas in-role behavior reflects the completion of assigned duties that are part of the job requirements and are explicitly recognized by formal reward systems (O Reilly & Chatman, 1986; Williams & Anderson, 1991). Similarly, task performance represents the fulfilment of prescribed requirements that relate directly to an organization s technical core (Motowidlo & Van Scotter, 1994; Motowidlo, Borman, & Schmit, 1997). In general, the proactivity literature is disjointed, because most studies included only one proactivity variable rather than investigating several proactivity variables simultaneously. In contrast, the present research incorporates not only the broadest proactivity variable developed in recent years (i.e., personal initiative), but also an innovationspecific proactivity criterion (i.e., voice behavior) and a service-specific proactivity criterion (i.e., proactive service performance). To capture the full range of organizationally functional individual-level proactivity, it includes the domainindependent personal initiative concept, which reflects all constructive forms of selfstarted, long-term oriented, and persistent work behavior (Frese & Fay, 2001). The 5

21 selection of the two domain-specific variables is motivated by the fourth and fifth challenge in proactivity research, the need for research on proactive behaviors relevant to two increasingly important domains of organizational behavior, work group innovation and customer service performance. Proactive behavior relevant to innovation. The fourth gap addressed in this research is the need to investigate proactive behavior relevant to work group innovation (Anderson & King, 1993; West, 2003). Innovation is the intentional introduction and application within a role, group or organization of ideas, processes or procedures, new to the relevant unit of adoption, designed to significantly benefit the individual, the group, organization, or wider society (West & Farr, 1990, p. 9). According to several researchers (e.g., Agrell & Gustafson, 1996; West, 2003), particularly little is known about the facilitators of innovative processes in work groups. The type of individuallevel proactivity that is most relevant to work group innovation is voice behavior, which implies that individuals constructively challenge the status quo in their group and communicate innovative suggestions for change (LePine & Van Dyne, 2001). Although change-oriented communication may contribute to organizational success in today s economy with its emphasis upon constant improvement, innovation, and information sharing (Kessler & Chakrabarti, 1996; Tushman & Anderson, 1997), few studies have investigated facilitators of voice. As Van Dyne and colleagues (1995) have argued, numerous studies examined affiliative-promotive extra-role behaviors that sustain the status quo (i.e., organizational citizenship behaviors such as altruism and courtesy; Organ, 1988) rather than challenging-promotive behaviors that change the status quo. The importance of 6

22 voice has been emphasized not only in the fields of management and psychology, but also in other disciplines such as political science and communication (Eisenberg & Goodall, 2001; Graham, 1991). According to two communication scholars (Albrecht & Hall, 1991), nowhere is the role of the interpersonal communication process more vividly relevant to the organization than in the context of talk about innovation (p. 273). Proactive behavior in the domain of customer service. Fifth and finally, none of the established proactivity concepts or measures explicitly captures the behaviors inherent to proactivity in the domain of customer service (Van Dyne, Jehn, & Cummings, 2002). Considering that the service sector accounts for the majority of all employees and more than three quarters of all new jobs created in recent decades in North America and other regions (Applebaum & Batt, 1994; Van Dyne et al., 2002), research on proactive service behavior is practically useful, especially because actual enhancements in service quality may lead to competitive advantage (Schmit & Allscheid, 1995). Service researchers (e.g., Liao & Chuang, 2004) have argued that front-line service employees play a vital role in shaping crucial outcomes including customer satisfaction and retention, purchase decisions, and perceptions of service quality. Although a metaanalysis (Harter, Schmidt, & Hayes, 2002) identified positive relationships between unitlevel employee engagement (broadly defined as involvement and enthusiasm for work) and customer satisfaction, little research has analyzed the specific individual-level behaviors that may reflect such engagement. Furthermore, previously developed service measures (e.g. Borucki & Burke, 1999; Butcher, Sparks, & O Callaghan, 2003; Parasuraman, Zeithaml, & Berry, 1988; Tsai, 2001) do not thoroughly or adequately assess individual-level service proactivity, 7

23 which goes beyond prescribed service behaviors. Consequently, this research involves the development of a concept and measure capturing proactive service performance. To establish validity evidence, proactive service performance will be distinguished from voice as well as task performance and will be related to several of the predictors included in the present study. Purpose of this dissertation In summary, due to the five gaps in proactivity research outlined above, the purpose of this dissertation is to investigate associations of leadership variables with personal initiative, voice behavior, and proactive service performance, and to identify moderators and mediators of these relationships. Because the proactive service performance concept and measure need to be newly developed, a subgoal of this study is to establish evidence of the reliability and validity of the proactive service performance measure. Another subgoal of this study, emanating from the third challenge described above, is to examine whether voice behavior, proactive service performance, and prescribed task performance are distinct from each other and whether these criteria are differentially associated with some of the predictors. Concordant with House s (1995) call for a consideration of leadership effects on subordinate initiative, this research involves an analysis of relationships between three relevant types of supervisory behaviors (participative, transformational, and activecorrective transactional leadership) and subordinate proactivity. Consistent with Crant s (2000) call for more complex studies examining moderation and mediation effects, this study is also designed to identify interactions and to reveal some of the underlying mechanisms connecting the predictors to the proactivity criteria. Before developing the 8

24 specific research hypotheses, I will introduce the three proactivity criteria included in the present research. 9

25 Chapter Two The Criterion Variables The criterion variables assessed in this dissertation are voice behavior, personal initiative, and proactive service performance. The presentation of these variables in the following sections is ordered by the degree of attention these performance constructs have received in North America so far. Clearly, North American researchers have devoted the greatest attention to voice behavior, as is evident by several publications in leading applied psychology and management journals (e.g., LePine & Van Dyne, 1998, 2001; Stamper & Van Dyne, 2001; Van Dyne & LePine, 1998). Although a few German studies on personal initiative have appeared in North American journals (e.g., Frese et al., 1996, 1997), a literature search using PsychInfo revealed that very little published research involving personal initiative as a performance criterion has used a North American sample. Finally, the proactive service performance construct is newly introduced in the present study. In response to the third gap in proactivity research, which included the need to compare proactive behavior to prescribed task performance, this dissertation also incorporates task performance. This variable is briefly defined and discussed in the end of the section on voice behavior, when the first proactivity concept will be compared to task performance. 10

26 Voice behavior The first proactivity variable included in this study, voice behavior, is defined as promotive behavior that emphasizes expression of constructive challenge intended to improve rather than merely criticize (Van Dyne & LePine, 1998, p. 109). Voice behavior, also described as constructive change-oriented communication (LePine & Van Dyne, 2001), implies that employees challenge the status quo in their work group, state their personal opinion even if others disagree, encourage others in their group to articulate their points of view, develop recommendations for improvement, and speak up with innovative suggestions for change (LePine & Van Dyne, 1998, 2001). Although this conceptualization has dominated our understanding of voice in the fields of management and organizational psychology in recent years, it should be noted that similar descriptions have been developed in other organization sciences, most notably in the field of organizational communication. According to Eisenberg and Goodall (2001), for example, voice manifests itself in the ability of an individual or group to participate in the ongoing organizational dialogue (p. 38). Consistent with Hirschman s (1970) and Gorden s (1988) earlier conceptualizations, Eisenberg and Goodall noted that voice refers to an employee s decision to speak up against the status quo rather than keep quiet and stay or give up and leave (p. 38). Despite the obvious relevance of voice to change processes, surprisingly little work has specified the exact implications of the voice construct for organizational change. Considering recent theoretical reviews of the organizational change and development literature (e.g., Weick & Quinn, 1993; Van De Ven & Poole, 1995), it is likely that individual employees voice behavior has the potential of affecting 11

27 incremental or continuous as opposed to radical or episodic forms of organizational change. With respect to the different approaches to organizational change identified by Van de Ven and Poole (1995), highly challenging forms of voice may trigger dialectical types of change (i.e., change resulting from confrontation and subsequent synthesis of opposing interests), whereas less challenging forms of voice may contribute to teleological types of change (i.e., change emanating from purposeful cooperation guided by commonly shared goals and envisioned end states). In particular, voice may facilitate innovation, a subform of change (West & Farr, 1993), because innovation begins with recognition and generation of novel ideas or solutions that challenge past practices and standard operating procedures (Van Dyne & LePine, p. 865). Voice behavior may be considered not only a starting point for innovation, but also an organizationally relevant outcome of creative processes, because the final stage in Amabile s (1996) componential theory of creativity is the communication of creative ideas. Concordant with these assumptions, recent studies conducted in software development companies as well as research departments of large corporations (Rank, Boedeker, Linke, & Frese, 2004) identified voice behavior as a mediator of the relationship between idea generation (i.e., creativity) and effective idea implementation (i.e., innovation). Voice behavior and citizenship performance. In the mid-1990s, one of the major causes triggering the wave of studies on change-oriented proactivity constructs such as voice behavior in American management research was the observation that most studies of organizational citizenship behavior (OCB) did not address challenging and innovative forms of self-started work behavior (Frese et al., 1996; Morrison & Phelps, 1999; Van 12

28 Dyne, Graham, & Dienesch, 1994; Van Dyne et al., 1995). In general, citizenship or contextual performance encompasses behaviors that are voluntary, relate more strongly to social circumstances than to technical task contents, and occur similarly over a wide variety of jobs (Borman & Motowidlo, 1993; Motowidlo, Borman, & Schmit, 1997; Organ, 1997). The fact that most OCB researchers have focused on affiliativepromotive behaviors (Van Dyne et al., 1995) rather than challenging and innovative behavior is somewhat surprising considering that Organ (1988) originally subsumed change-oriented behaviors such as speaking up under the civic virtue category of OCB and was inspired by Katz and Kahn s (1966) notion that organizational effectiveness is aided by employees innovative and spontaneous activities that are beyond the prescribed role requirements (p. 146). Later, Organ (1997) explained how civic virtue was garbled in the process of operationalization (p. 92). Because early measures of OCB were derived from interview studies asking managers which subordinate behaviors they like but cannot enforce (Smith, Organ, & Near, 1983), one could have bet that the behaviors identified would tend toward the mundane rather than, say, bold innovative suggestions (Organ, 1997, p. 93). One of the most frequently used OCB scales includes only civic virtue items referring to relatively trivial behaviors such as reading company mail and attending meetings (Podsakoff, MacKenzie, Moorman, & Fettter, 1990). Criticizing this development, Van Dyne and colleagues (1994) argued that the scale developed by Podsakoff and associates represented only half of the content domain of civic virtue, because items capturing courageous communications that challenge norms or support unpopular views were not included (p. 794). To help fill this gap, Van Dyne and 13

29 associates developed a new OCB taxonomy following Graham s (1991) political science framework. The dimension that best reflects challenging communication in this taxonomy is the factor advocacy participation, which comprises behaviors typical of an internal change agent. Subsequently, Van Dyne et al. (1995) proposed the highly similar voice behavior construct. Empirical findings on voice behavior. Recently, Van Dyne and colleagues contrasted voice with helping behavior, demonstrating that certain variables differentially predict these two types of voluntary work behavior. For example, the personality trait agreeableness positively predicted helping and negatively predicted voice (LePine & Van Dyne, 2001), and work status differentially related to these two criteria such that parttime employees exhibited less helping, but not less voice behavior than full-time employees (Stamper & Van Dyne, 2001). Applying the theory of individual differences in task and contextual performance (Motowidlo, Borman, & Schmit, 1997), LePine and Van Dyne (2001) showed that extraversion and conscientiousness were more strongly and positively associated with voice than with task performance. With respect to future research on voice predictors, LePine and Van Dyne (1998) explicitly suggested that researchers broaden their focus and examine additional variables as well as the underlying processes that lead to voice (p. 866). Particularly few studies have examined leadership predictors of voice. In a field study of American work groups, LePine and Van Dyne (1998) found no significant overall relationship between general style of management (i.e., traditional versus self-managed) and employees voice. An interaction effect indicated that self-management was more positively associated with voice for low self-esteem employees. In a study of Dutch 14

30 police officers, subordinates with an innovative (rather than adaptive) cognitive style (Kirton, 1976) voiced more ideas if their supervisors were approachable and responsive (Janssen, de Vries, & Cozijnsen, 1998). However, almost no research has examined links between voice and theory-based leadership constructs such as transformational, transactional, and participative leadership. It is important to note that previous studies on relationships between such leadership variables and task performance or OCB do not substitute for research examining leadership predictors of voice behavior. Particularly noteworthy is the fact that all of the published studies included in a meta-analysis of relationships between leadership and OCB (Podsakoff, MacKenzie, Pain, & Bachrach, 2000) employed the OCB measure by Podsakoff et al. (1990), which does not capture change-oriented proactivity. Furthermore, even the most integrative recent taxonomies of citizenship performance do not represent challenging behaviors. Based on the results of multidimensional scaling, cluster, and factor analyses of twenty-seven citizenship behaviors derived from the literature on OCB, contextual performance, and prosocial behavior, Coleman and Borman (2000) proposed a threefold citizenship performance taxonomy comprised of the factors interpersonal support, organizational support, and job/task dedication, with the latter factor being named conscientious initiative in later publications (e.g., Borman, Penner, Allen, & Motowidlo, 2001). Coleman and Borman (2000) explicitly concluded that the more assertive, challenging elements of citizen participation in organizational life are not well reflected in certain conceptualizations of OCB (e.g. Podsakoff et al., 1990). The same could be said of our model (p. 42). Overall, change-oriented types of employee behavior have received considerably less 15

31 attention than core components of OCB such as altruism and courtesy (Frese & Fay, 2001; Morrison & Phelps, 1999; Van Dyne et al., 1995). Voice behavior and task performance. While a few authors (e.g., Coleman & Borman, 2000; Van Dyne et al., 1995) have discussed the extent to which voice may be related to citizenship performance, even fewer researchers have addressed differences between voice and in-role behavior or task performance. In-role behavior comprises behaviors that are part of the job requirements and are explicitly recognized by formal reward systems (Williams & Anderson, 1991). O Reilly and Chatman (1986) explained that it includes behaviors such as completing assigned duties and complying with rules and regulations. The in-role behavior concept is highly similar to the task performance concept (Borman & Motowidlo, 1993; Motowidlo, Borman, & Schmit, 1997). In contrast to citizenship performance, task performance relates directly to an organization s technical core (Motowidlo & Van Scotter, 1994), either by executing its technical processes (e.g., cashing checks) or by maintaining its technical requirements (e.g., replenishing supplies). Two of the differences between task and contextual performance discussed by Borman and Motowidlo (1993, 1997) also apply to a comparison of task performance with voice behavior: In contrast to task performance, voice is voluntary and involves similar behaviors across a wide range of jobs, whereas task performance is prescribed and varies across occupations. Furthermore, voice is not necessarily linked to the technical aspects of the work and not limited to one s own job, but refers to the questioning and improvement of any type of work-related issue in one s entire work group. Besides, 16

32 voice behavior does not reflect compliance with extant rules and regulations, but rather implies that employees challenge the status quo (Van Dyne & LePine, 1998). One may argue that the development and articulation of suggestions for change may be part of the requirements in specific jobs and settings, such as certain roles in marketing or research and development departments. However, Van Dyne and LePine (1998) argued that such prescribed forms of change-oriented communication should not be considered voice behavior. Therefore, voice behavior should be distinguishable from task performance. The accuracy of this expectation will be assessed via confirmatory factor analysis. Additionally, the following sections will include the generation of a few hypotheses implying that certain predictors will be related to only one of these two criteria (e.g., transformational leadership as a predictor of task performance, but not voice, and active-corrective transactional leadership as a negative predictor of voice, but not task performance). Hypothesis 1: Voice behavior will be factorially distinct from prescribed task performance. Personal initiative Discussing their meta-analytic findings concerning OCB predictors, LePine, Erez, and Johnson (2002) explicitly mentioned not only voice behavior, but also personal initiative as a variable that should be included in future studies examining predictors of different employee behavior dimensions. Therefore, and because this research is designed to identify predictors of a broad range of proactive behaviors rather than only 17

33 innovation-related and service-specific proactivity, personal initiative is also included as a criterion in the present study. Since the conceptual development of the new servicespecific proactivity variable will be largely based on previous work on initiative, I first provide a brief review of research on personal initiative and then proceed with the derivation of the proactive service performance concept. According to the most recent definition provided by Frese and Fay (2001), personal initiative (PI) is work behavior characterized by its self-starting nature, its proactive approach, and by being persistent in overcoming difficulties that arise in the pursuit of a goal (p. 134). Specifically, personal initiative is characterized by the following five components: "it (1) is consistent with the organization's mission, (2) has a long-term focus, (3) is goal-directed and action-oriented, (4), is persistent in the face of barriers and setbacks, and (5) is self-starting and proactive" (Frese et al., 1996, p. 38). Personal initiative is self-started, because it is exhibited without an explicit role requirement and involves self-set rather than assigned goals. It is long-term oriented, as it implies that individuals deal with potential future problems and take advantage of opportunities. It is persistent, because it involves perseverance in overcoming barriers and setbacks (Frese & Fay, 2001). Facets and correlates of personal initiative. In concordance with their broad definition of personal initiative, Frese and associates (1996, 1997) have demonstrated that personal initiative comprises a wide range of proactive behaviors such as going beyond the prescribed contents of one s job (qualitative initiative), spending additional time and energy at work (quantitative initiative), demonstrating perseverance in the face of obstacles (overcoming barriers), and taking charge oneself instead of delegating problems 18

34 prematurely (active approach). As Fay, Sonnentag and Frese (1998) argued, job incumbents typically do not self-start their work activities but complete tasks on the basis of external requests, i.e., based on job descriptions or demands by supervisors. If, however, an individual develops an additional goal and executes it without being asked to do so, this is an act of initiative (p. 171). The authors provided the example of a computer technician implementing a procedure enabling others to save paper when printing, although this goes beyond prescribed task requirements. Frese and colleagues (1996) gave the example of a worker in an automotive company who repairs a broken machine instead of calling the repairperson. It is important to note that Frese and colleagues primarily consider personal initiative as a behavioral performance construct rather than a personality trait, although they also developed a self-report inventory assessing the trait component of initiative, which strongly overlaps with the proactive personality construct (Crant, 2004; Frese & Fay, 2001). Previous research has examined various predictors and consequences of personal initiative as a performance variable. As such, it has been shown to predict various desirable outcomes, including grades, employability, career development, entrepreneurial success, and the effective implementation of process innovations (Baer & Frese, 2004; Fay & Frese, 2001; Frese & Fay, 2001). Considering initiative precursors, longitudinal research revealed two motivational variables (need for achievement and self-efficacy) and two job characteristics (complexity and control) as the strongest predictors of personal initiative (Frese et al., 1996, 1997; Frese & Fay, 2001; Speier & Frese, 1997). However, little research has examined leadership predictors of personal initiative. Frese and Fay (2001) suggested 19

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